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ROCK3D
Three-Dimensional Rock
Block Analysis Based Key
Block Theory
Summary
Chapter 1 - Introduction to the program 1
Introduction to the program ......................................................................................................................1
Chapter 6 - Commands 14
Files Menu..............................................................................................................................................14
Open Command................................................................................................................................14
Duplicate Command..........................................................................................................................14
Printer Setup Command....................................................................................................................14
Edit Menu ...............................................................................................................................................15
Structural Data Collection Command................................................................................................15
The "Structural Data Collection Sheet" Dialogue Box .................................................................15
Joint Set Parameters Command.......................................................................................................16
The “Joint Set Parameters” Dialogue Box ...................................................................................16
Slope Parameters Command............................................................................................................16
The “Slope Parameters” Dialogue Box ........................................................................................16
Titles Command ................................................................................................................................17
Calculate Menu ......................................................................................................................................18
Cluster Analysis Command...............................................................................................................18
Block Pyramid Selection Command..................................................................................................21
Trace Map Calculation Command ....................................................................................................22
Random Map Calculation Command ................................................................................................22
Rock Block Calculation Command....................................................................................................23
Print Menu ..............................................................................................................................................24
Joint Sets Command.........................................................................................................................24
Graphics Command .....................................................................................................................24
The Graphical Output Preview Window.......................................................................................24
Listing Preview Command ...........................................................................................................25
Listing Direct Print Command ......................................................................................................25
Listing Export to DOC ..................................................................................................................25
ROCK3D - User Guide Summary • ii
Chapter 7 - References 30
References .............................................................................................................................................30
ROCK3D - User Guide Chapter 1 - Introduction to the program • 1
System requirements
• Pentium® class processor
• Microsoft® Windows® 95 OSR 2.0, Windows 98, Windows Me, Windows NT®* 4.0 with Service Pack 5 or
6, Windows 2000, or Windows XP
• 64 MB of RAM (128 MB recommended)
• 100 MB of available hard-disk space
• CD-ROM drive
• A printer driver must be installed, even if the printer itself is not connected to the PC.
Program installation
To install the ROCK3D program, run ROCK3D32SETUP.EXE from the CD-ROM or from the folder where you
downloaded and saved the setup program.
Carefully read the License Agreement and press the NEXT button.
Carefully read the informations about the registration of the software and press the NEXT button.
ROCK3D - User Guide Chapter 2 - System requirements and program installation • 4
Select the folder where the ROCK3D32 directory would be created and press the NEXT button.
Press the NEXT button to create the ROCK3D32 group in the Start menu.
ROCK3D - User Guide Chapter 2 - System requirements and program installation • 5
Once completed the installation, press the END button to exit the setup procedure and to start ROCK3D32.
ROCK3D32 can be run by clicking the Start button, then selecting the ROCK3D32 group in the Programs
menu, and clicking ROCK3D32.
ROCK3D - User Guide Chapter 3 - The program protection • 7
Program registration
This section is dedicated to the registration of packages purchased through the Internet.
The unregistered program runs in «demo» mode; this enables one to evaluate the program features, working on
the examples supplied together with the program. In «demo» mode the “Confirm” buttons of the input windows
are disabled, and the entered data cannot be saved. To enable the “Confirm” buttons, and have a fully
operational program, it is necessary to register it.
The program can be registered on one computer only at a time. The protection system encrypts, on the hard
disk, some data relative to the installed program and to the computer hard disk serial ID, in such a way as to be
able to identify the computer on which the registration has taken place.
The registration can be performed, by the manufacturer or supplier, with an activation code.
We would like to stress that the encrypted protection data on the hard disk are bound in a unique way to the
hard disk itself: subsequently, one can no longer use the activation code to install the program on other
computers.
AutoUpdater can also be configured to automatically start at each run of the program.
Simply check the “update at startup” check box, and AutoUpdater will automatically search for new components
each time the program is run.
The search for new components is directly performed by the program, while the download is performed by
AutoUpdater: for this reason, both the main program and AutoUpdater need the right to access to the Internet.
All the autoupdating procedures use the HTTP protocol, port 80, and automatically recognize if a proxy server is
used on the local network to access the Internet.
If you experience some problems with the autoupdating procedure, they may be due to a FIREWALL: ask your
System Administrator to give the right to access the Internet to the executable of the program (*32.exe) and to
the AutoUpdater.exe module, in the program folder. No “act as a server” right is needed.
If particularly hard security rules disallow giving those access rights, remember you can download the updated
full setup, from our web site, through your web browser.
ROCK3D - User Guide Chapter 5 - User Interface • 10
Usage Notations
Some typographical notations and keyboard formats are used in this manual to help locate and interpret
information more easily.
Bold print is used to indicate command names and related options. Characters appearing in bold print should
be typed exactly as printed, including spaces.
CAPITAL letters are used to indicate computer, printer, directory, and file names.
The programs automatically disable some menus or commands when the execution of such menus or
commands is not yet feasible. Typical examples are: a calculation menu is disabled when not all the data
needed for the calculation have been completely entered, or a print menu is disabled if not all the calculations
have been executed.
To choose a command from a menu, use the following procedures:
! Point the menu that is to be activated, click the left button of the mouse, then point the command to be
activated, and click the left button of the mouse again. If one does not wish to select any command
from the menu that is open, exit the area of the menu before releasing the mouse button.
Some fundamental tools are used inside the dialogue windows: data fields such as text and list boxes, and
buttons.
The text boxes are used to input numerical values and text strings. Most of the editing keys (HOME, END, INS,
DEL, etc.) can be used inside these fields. If one sees a small arrow pointing down on the right side of the data
field, one has a list box.
To scroll the list box and select an item, do as follows:
! click the arrow, and then click the item to be selected.
To edit the data inside the dialogue window, use the following keys:
• TAB - moves the cursor to the next field; when the cursor is inside the last visible field the cursor goes to the
first control button of the Dialogue window. To return to the previous field, press SHIFT+TAB.
• ENTER - moves the cursor to the next field. If the cursor is positioned on one of the window buttons, the
corresponding command is executed.
• BACKSPACE - cancels the last character that has been entered.
• DEL - cancels the character to the right of the cursor.
ROCK3D - User Guide Chapter 5 - User Interface • 12
• ESC - closes the Dialogue window without saving the entered values or without executing the command. The
<Cancel> button will do the same.
• UP ARROW/ DOWN ARROW - these are used in multiple fields, or those fields that have a list box.
• LEFT ARROW/ RIGHT ARROW - moves the cursor to the previous or next field.
• HOME -moves the cursor to the beginning of the field.
• END - moves the cursor to the end of the field.
A yellow box with a short text that explains the meaning of the value to be entered, can be seen in the lower part
of the window. If the text is not completely visible, click the yellow box to read the complete text.
• TAB - moves the cursor to the first button in the window. When one presses this key again, the cursor is
moved to the next button.
• SHIFT+TAB - moves the cursor to the previous button.
• ENTER - moves the cursor into the next input field. If the cursor is positioned on one of the window buttons,
the corresponding command is executed.
• PAGE UP - moves the cursor up 15 lines.
• PAGE DOWN - moves the cursor forward 15 lines.
• UP arrow - moves the cursor to the input field directly above.
• DOWN ARROW - moves the cursor to the input field directly below.
• LEFT ARROW / RIGHT ARROW - moves the cursor to the field respectively to the left or to the right of the current
position.
• HOME - moves the cursor to the beginning of the line.
• END - moves the cursor to the end of the line.
• F2 - copies the field contents to the extended editing field under the title bar in order to facilitate the editing
ROCK3D - User Guide Chapter 5 - User Interface • 13
of the long strings. When working in this editing field, please REMEMBER to press ENTER, even before
clicking the <Ok> button. Double-clicking a field has the same effect as pressing the F2 key.
IMPORTANT SUGGESTION: you can copy data to or from other programs such as Microsoft Excel:
The data entered in the table can be copied in order to be pasted into another table.
To copy the table’s contents:
" press the key combination CTRL+C. The contents will be copied into the Clipboard of Windows.
A yellow box with a short text that explains the meaning of the value to be entered, can be seen in the lower part
of the window. If the text is not completely visible, click the yellow box to read the complete text.
Message Windows
The function of these windows is to give information to the user concerning the system status, as in the case of
an error due to an improper use of the program.
Help On Line
A complete Help On Line is available. It is possible to ask for information or suggestions related to the
commands or the use of the program. In order to access the help on line, proceed as follows:
1. Position the cursor on a field of a dialogue window and press F1.
2. Use the Summary from the Help menu.
ROCK3D - User Guide Chapter 6 - Commands • 14
Chapter 6 - Commands
Files Menu
This menu contains all the commands that are used to open and duplicate the files which contain all the project
data.
Open Command
To open a new file:
! from the menu, choose Open by first clicking on the Files menu, then on the Open command. In the
File Name field type the name of the new file and confirm.
The name of the file in use will be reported in the title bar of the main window.
The name of the file should not contain spaces and/or punctuation marks. It is not necessary to indicate an
extension, since the extensions will be automatically added to each data set.
In the program there is no specific command to save data, as these are automatically saved after any data entry
or elaboration.
Duplicate Command
Allows the duplication of an entire data set; this option can be useful, for example, to save the analyses of each
kinematic mode as different data sets. To duplicate a file:
! from the menu, choose Duplicate by first clicking on the Files menu, then on the Duplicate command.
type the name of the new file in the File Name field and confirm.
The program will duplicate the file in the current directory unless otherwise specified. To duplicate a file in a
different disk or directory, type the full path before the file name in the File Name field.
Edit Menu
This menu is used to enter and edit the input data used for the rock stability analysis.
orientation of the discontinuity and of the slope. If the discontinuity trace is horizontal, the leftmost end point
must be entered.
→ Length: this is the length of the trace in meters;
→ Phi: this is the friction angle along the discontinuity in degrees; this parameter is optional because it can be
assigned to each joint set after the cluster analysis;
2
→ Cohesion: this is the cohesion along the discontinuity in kN/m ; this parameter is optional because it can be
assigned to each joint set after the cluster analysis.
3
→ Gamma: rock unit weight (kN/m );
→ Slope Dip: dip of the slope (degrees);
→ Slope Dip Direction: dip direction of the slope (degrees);
→ Slope width: the program uses local coordinates with the origin in the lower left corner of an imaginary
rectangle that represents the slope face. The Slope width is the width of this rectangle (meters);
→ Slope height: this is the height of the imaginary rectangle that represents the slope face (meters); the Y-axis
has the same dip as the slope, so this value usually does not coincide with the elevation difference between
the top and the bottom of the rectangle.
Titles Command
This command enables one to enter and edit a title and three sub-titles.
ROCK3D - User Guide Chapter 6 - Commands • 18
Calculate Menu
This menu is used to execute the sequence of calculation steps that are necessary to complete the rock stability
analysis. The commands contained in this menu are ordered following the logical sequence of the required
calculation steps.
The operator can then analyse the tree and choose the optimal clustering level.
An optional stage of non-hierarchical clustering can be performed to refine the results obtained with the
hierarchical clustering. This method is based on the following steps:
1. the operator defines a limit angle: a pole can only belong to a cluster if the angular distance from the cluster
centre is lower then the given angle.
2. the positions of the cluster centres are calculated as the weighted vectorial sum of the poles that belong to
the clusters.
3. the poles are reassigned to the clusters taking the limit angle and the new cluster centre position into
consideration.
Steps 2 and 3 are repeated until a stable configuration is reached.
Non-hierarchical clustering must be used with caution, and it is necessary to verify that all the poles belong to a
ROCK3D - User Guide Chapter 6 - Commands • 19
Select the algorithm for the calculation of the distance between two clusters by clicking one of the option
buttons.
Once the cluster tree has been completed, it is possible to select an initial clustering level by entering the initial
number of clusters into the dialogue box.
Click the <Increase> and <Decrease> buttons to analyse the tree and to choose the optimal clustering level,
then click the <OK> button.
ROCK3D - User Guide Chapter 6 - Commands • 20
Click the <Increase> and <Decrease> buttons to choose the number of significant clusters, then click the <OK>
button. Do not decrease the number of significant clusters if the rock slope stability has to be performed.
It is now possible to perform the non-hierarchical clustering. A value for the limit angle should be entered into
the field, and the <OK> button should be clicked.
If the field is left blank (or a zero value is entered) the non-hierarchical clustering is not performed.
Do not perform the non-hierarchical clustering if the rock slope stability has to be performed.
At this point, it is possible to confirm the obtained results by clicking the <Ok> button. To repeat the clustering
procedure, click the <Back> button.
ROCK3D - User Guide Chapter 6 - Commands • 21
Once done, the program calculates the average geomechanical parameters of the joint sets, which can be
modified with the Joint Set Parameters command of the Edit menu.
If the values of the friction angle and cohesion have not been individually assigned to each discontinuity, they
must be manually assigned to each joint set with the Joint Set Parameters command of the Edit menu.
Once the Cluster Analysis has been performed, it is possible to execute the Block Pyramid Selection.
The planes are projected as circles, and the intersection lines of the planes appear as intersection points of the
circles.
If at least three joint sets are added, the projection plane results to be divided into a certain number of areas:
each of these areas represents a joint pyramid and is identified by a code composed “0” and “1” digits.
The joint sets (i.e. the circles) are numbered, and the position of the “0” and “1” digits refers to the number of the
joint sets.
The meaning of “1” is “the joint pyramid is under the plane”, and “0” means “the joint pyramid is over the plane”.
For example, a joint pyramid “0010” is over planes 1,2,4 and under plane 3.
The special green circle which can be seen in the projection represents the slope face. To obtain a finite rock
block, a joint pyramid must never cross the slope face circle, as this would mean that the pyramid is partially
directed inside the rock mass, and partially outside.
The joint pyramids that cross the slope face circle must be ignored.
The joint pyramids that lie completely inside the reference circle face completely upwards and must
also be ignored.
A special digit must be added to transform the joint pyramids into block pyramids. This digit tells the program
whether the rock mass is under (digit=”1”) or over (digit=”0”) the slope face.
If the rock mass is under the slope face: choose only (and all) the joint pyramids that lie completely
inside the slope face circle from the set of pyramids that have not been ignored, and add the digit “1” at
the end of the code.
If the rock mass is over the slope face: choose only (and all) the joint pyramids that lie completely
ROCK3D - User Guide Chapter 6 - Commands • 22
outside the slope face circle from the set of pyramids that have not been ignored, and add the digit “0”
at the end of the code.
The Block Pyramid Selection Command must be repeated for all the valid Block pyramids, otherwise one
risks ignoring the kinematic modes that can give rise to the formation of removable blocks with safety factors
that are lower than the previously calculated ones.
Once the Block Pyramid Selection has been performed, it is possible to execute the Trace Map Calculation.
The Trace Maps Calculation and the Rock Block Calculation must be repeated for each Block pyramid.
For further information on the method used by the program, reference can be made to specific literature, and to
the book by Goodman R. & Shi G. "Block theory and its application to rock engineering" Prentice Hall, inc.,
London (1985).
Print Menu
The Print menu is used to configure the graphical output and to plot the partial and final results: joint sets, joint
pyramids, trace map and rock blocks.
Graphics Command
Selecting this command, the Print Preview window is opened, and the results of the cluster analysis are shown.
An equal-angle projection on the upper hemisphere is used, to be compatible with the Joint Pyramid projection.
Each joint set is drawn in a different colour, and is represented by a different graphical symbol to also allow
black and white outputs.
- Zoom + : clicking the first icon activates the ZOOM function (it can only be used with the mouse) that
permits the enlargement of part of the drawing. The function remains active until the Zoom - icon is selected.
To enlarge a part of the drawing:
! click the icon, and then select the area to be enlarged by clicking the upper-left corner and dragging
the mouse pointer to the lower-right corner. At this point, release the mouse button. Note: due to the
low resolution of the screen, the texts could appear in a slightly different scale at different zoom levels.
This does not affect the quality of the final printouts.
- Zoom - : click this icon to return to the original scale of the preview.
- Arrows: click the arrow icons, in "Zoom + " mode, to pan the on-screen preview.
- Print: click the print icon to send the drawing to the default printer.
- Resized print: click this icon to send the drawing to the default printer. The image will be resized to fit the
current paper size.
- DXF: one can export the graphic output as a DXF file by clicking this icon; it gives access to a dialogue
window that enables one to assign a different name to the DXF file, which has, by default, the same name
as the current project.
- EMF/W: This icon allows the graphic output to be exported to a version of the Enhanced Windows Metafile
which is compatible with Microsoft Word. Clicking this icon gives access to a dialogue window that enables
one to assign a different name to the EMF file, which has, by default, the same name as the current project.
ROCK3D - User Guide Chapter 6 - Commands • 25
- EMF/D: This icon allows the graphic output to be exported to a version of the Enhanced Windows Metafile
which is compatible with Corel Draw. Clicking this icon gives access to a dialogue window that enables one
to assign a different name to the EMF file, which has, by default, the same name as the current project.
- BMP: one can export the graphic output as a BMP file by clicking this icon; it gives access to a dialogue
window that enables one to assign a different name to the BMP file, which has, by default, the same name
as the current project.
- GIF: one can export the graphic output as a GIF file by clicking this icon; it gives access to a dialogue
window that enables one to assign a different name to the GIF file, which has, by default, the same name as
the current project.
- JPG: one can export the graphic output as a JPG file by clicking this icon; it gives access to a dialogue
window that enables one to assign a different name to the JPG file, which has, by default, the same name
as the current project.
- Exit: click this icon to close the preview window and return to the main menu.
Graphics Command
Selecting this command, the Print Preview window is opened, and the projection of the joint pyramids that is
used in the Key Block Theory is shown.
The Joint Pyramids are presented as they are described in the “Block Pyramid Selection Command” section.
A second projection is present in the graphical output, in which the sliding planes for each kinematic mode are
shown.
Examples of the used codes:
23 wedge sliding on planes 2 and 3
3 planar sliding on plane 3
0 vertical fall (for example, from an underground roof)
ROCK3D - User Guide Chapter 6 - Commands • 26
Graphics Command
Selecting this command, the Print Preview window is opened, and the map of the discontinuity traces on the
slope face is shown. The maximum closed contours that result from the intersection of the joint traces are
highlighted in a different colour.
Graphics Command
Selecting this command, a special preview window is opened, and the calculated rock blocks are shown.
The rock blocks are animated, with an anti-clockwise rotation around the Z-axis.
There are some buttons that allow one to choose the best way to print the rock blocks.
• <Angle> it is possible to choose the vertical angle of the view point by entering the new angle into the
appropriate field and clicking the <Angle> button.
• <Stop> clicking this button, the rotation is stopped. It is mandatory to stop the rotation if one wants to
produce a left and a right view that can be seen in three dimensions using a stereoscope.
• <Restart> clicking this button, the rotation restarts, allowing one to choose a different view point.
• <Multiple> clicking this button, the program shows four contemporary views of the rock blocks: top view,
ROCK3D - User Guide Chapter 6 - Commands • 27
Configure Command
With this command, one can define the graphical properties of the different objects in the graphical output.
ROCK3D - User Guide Chapter 6 - Commands • 28
One can associate a colour, a line thickness and a character font to each object. Notice that not all the objects
have both a line thickness and a character font: for example, a title only requires the colour and the character
font to be defined.
• Click an object to select it (use the scroll bar to see the entire list)
• Click one of the option buttons, in the “colours” frame, to select the colour that has to be associated to the
selected object. The Not drawn option hides the object of the graphical output.
• If the object contains texts, one can choose a character font from the list (use the scroll bar to see the entire
list)
• If the object contains lines, one can assign a thickness to the lines (in mm). If the value is zero, the program
uses the thinnest line on the output device.
• It is possible, as an option, to assign a left and a top margin (in cm) to the whole graphical output.
NOTE: although the available set is limited to fifteen colours, they can be manually customised; double-click the
coloured bar to open the Colour Dialogue Box and choose a different RGB value associated to the selected
colour.
ROCK3D - User Guide Chapter 6 - Commands • 29
Exit Menu
This command allows one to exit the program. There is no specific command to save the entered data as these
are automatically saved each time they are modified.
ROCK3D - User Guide Chapter 7 - References • 30
Chapter 7 - References
References
1. Goodman R.E. & Shi G.H., Block theory and its application to rock engineering, 338, Prentice Hall, inc.,
London (1985)
2. Shi G.H., Goodman R.E., Tinucci J.P., Application of block theory to simulated joint trace maps, Proc. Int.
Symp. on Fundamentals of rock joints, 367-383, Bjorkliden (Sweden) (1985)
3. Mauldon M. & Goodman R.E., Rotational kinematics and equilibrium of block in a rock mass, Int. J. Rock
Mech. and Mining Sci. & Geomech. Abstr., 27, 4, 291-301 (1990)
4. Cravero M., Iabichino G., Piovano V., Rock slope instabilities. A comparison with block theory forecast,
Rock Mechanics in the 1990s (1993)
5. Cravero M., Iabichino G., Localizzazione di solidi di roccia mediante mappe delle discontinuità, Incontro di
Studio su Meccanica delle Rocce a Piccola Profondità, Torino (I) (1991)
6. Cravero M., Giani G.P., Tipi di analisi di stabilità: equilibrio limite e teoria dei blocchi, Secondo Ciclo di
Conferenze di Meccanica delle Rocce "Pendii naturali e fronti di scavo", Torino (I) (1988)
7. Shi G.H., Goodman R.E., The key blocks of unrolled joint traces in developed maps of tunnel walls, Int. J.
for Numerical and Analytical Methods in Geomech. 13,131-158, (1989)
8. Warburton P.M., A stereological interpretation of joint trace data, Int. J. Rock Mech. Min. Sci. & Geomech.
Abstr., 17, 181-190 (1980)
9. Priest S.D., Hudson J.A., Estimation of discontinuity spacing and trace length using scanline surveys, Int. J.
Rock Mech. Min. Sci. & Geomech. Abstr., 18, 183-197 (1981)